2018058319801 Merrill Lynch, Pierce Fenner & Smith Incorporated CRD 7691 AWC va (2020-1592007566266).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058319801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Merrill Lynch, Pierce Fenner & Smith Incorporated, Respondent Member Firm CRD No. 7691 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Merrill Lynch, Pierce Fenner & Smith Incorporated ("Merrill Lynch" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINRA Gateway Webinar

Learn about FINRA Gateway, the new FINRA reporting and compliance user experience, which will roll out over the coming months. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative, is the next generation of Firm Gateway, and is designed to streamline compliance and reporting by providing a more flexible solution that can be customized to hone in on each user’s role and priorities in the firm.

2016051704303 Steven Robert Luftschein CRD 2690117 Complaint va (2020-1592007565894).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven Robert Luftschein (CRD No. 2690117), Respondent. Disciplinary Proceeding No. 2016051704303 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Steven Robert Luftschein, while associated with Aegis Capital Corp. ("Aegis" or the "Firm"), a FINRA-regulated broker-dealer, churned and excessively traded the
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